STREAM GLOBAL SERVICES, INC. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 10 rows, 10 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2009-10-01: Reporting owner ARES PARTNERS MANAGEMENT CO LLC | ACOF Management II, L.P. | Ares Corporate Opportunities Fund II, L.P. | ACOF Operating Manager II, L.P. | ARES MANAGEMENT LLC; Form 4; Security Series B Convertible Preferred Stock, par value $0.001; Transaction C Conversion of derivative security.
- 2009-10-01: Reporting owner ARES PARTNERS MANAGEMENT CO LLC | ACOF Management II, L.P. | Ares Corporate Opportunities Fund II, L.P. | ACOF Operating Manager II, L.P. | ARES MANAGEMENT LLC; Form 4; Security Series A Convertible Preferred Stock, par value $0.001; Transaction C Conversion of derivative security.
- 2009-06-30: Reporting owner ACOF Operating Manager II, L.P. | Ares Corporate Opportunities Fund II, L.P. | ACOF Management II, L.P. | ARES MANAGEMENT LLC | ARES PARTNERS MANAGEMENT CO LLC; Form 4; Security Series B Convertible Preferred Stock, par value $0.001; Transaction J Other acquisition or disposition (describe transaction).
- 2009-06-30: Reporting owner ACOF Operating Manager II, L.P. | Ares Corporate Opportunities Fund II, L.P. | ACOF Management II, L.P. | ARES MANAGEMENT LLC | ARES PARTNERS MANAGEMENT CO LLC; Form 4; Security Series A Convertible Preferred Stock, par value $0.001; Transaction J Other acquisition or disposition (describe transaction).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2009-10-01 | ARES PARTNERS MANAGEMENT CO LLC | ACOF Management II, L.P. | Ares Corporate Opportunities Fund II, L.P. | ACOF Operating Manager II, L.P. | ARES MANAGEMENT LLC Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series B Convertible Preferred Stock, par value $0.001 Derivative · Direct | C Conversion of derivative security | −702 0 owned after | $6.00 exercise price | 2009-10-02 | |
| 2009-10-01 | ARES PARTNERS MANAGEMENT CO LLC | ACOF Management II, L.P. | Ares Corporate Opportunities Fund II, L.P. | ACOF Operating Manager II, L.P. | ARES MANAGEMENT LLC Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series A Convertible Preferred Stock, par value $0.001 Derivative · Direct | C Conversion of derivative security | −150,000 0 owned after | $6.00 exercise price | 2009-10-02 | |
| 2009-06-30 | ACOF Operating Manager II, L.P. | Ares Corporate Opportunities Fund II, L.P. | ACOF Management II, L.P. | ARES MANAGEMENT LLC | ARES PARTNERS MANAGEMENT CO LLC Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series B Convertible Preferred Stock, par value $0.001 Derivative · Direct | J Other acquisition or disposition (describe transaction) | +0 702 owned after | $6.00 exercise price | 2009-07-02 | |
| 2009-06-30 | ACOF Operating Manager II, L.P. | Ares Corporate Opportunities Fund II, L.P. | ACOF Management II, L.P. | ARES MANAGEMENT LLC | ARES PARTNERS MANAGEMENT CO LLC Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series A Convertible Preferred Stock, par value $0.001 Derivative · Direct | J Other acquisition or disposition (describe transaction) | +0 150,000 owned after | $6.00 exercise price | 2009-07-02 | |
| 2009-03-13 | Ares Corporate Opportunities Fund II, L.P. | ARES MANAGEMENT LLC | ACOF Operating Manager II, L.P. | ARES PARTNERS MANAGEMENT CO LLC | ACOF Management II, L.P. Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series B Convertible Preferred Stock, par value $0.001 Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +326 552 owned after | $6.00 exercise price | 2009-03-17 | |
| 2009-03-13 | Ares Corporate Opportunities Fund II, L.P. | ARES MANAGEMENT LLC | ACOF Operating Manager II, L.P. | ARES PARTNERS MANAGEMENT CO LLC | ACOF Management II, L.P. Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series B Convertible Preferred Stock, par value $0.001 Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150 702 owned after | $6.00 exercise price | 2009-03-17 | |
| 2009-03-11 | ARES MANAGEMENT LLC | ACOF Operating Manager II, L.P. | ARES PARTNERS MANAGEMENT CO LLC | ACOF Management II, L.P. | Ares Corporate Opportunities Fund II, L.P. Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series A Convertible Preferred Stock, par value $0.001 Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −150,000 0 owned after | $6.00 exercise price | 2009-03-12 | |
| 2009-03-11 | ARES MANAGEMENT LLC | ACOF Operating Manager II, L.P. | ARES PARTNERS MANAGEMENT CO LLC | ACOF Management II, L.P. | Ares Corporate Opportunities Fund II, L.P. Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series A Convertible Preferred Stock, par value $0.001 Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 150,000 owned after | $6.00 exercise price | 2009-03-12 | |
| 2009-03-10 | ARES MANAGEMENT LLC | ACOF Operating Manager II, L.P. | ARES PARTNERS MANAGEMENT CO LLC | ACOF Management II, L.P. | Ares Corporate Opportunities Fund II, L.P. Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series B Convertible Preferred Stock, par value $0.001 Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +226 226 owned after | $6.00 exercise price | 2009-03-12 | |
| 2008-08-18 holding as of filing | ARES PARTNERS MANAGEMENT CO LLC | ACOF Management II, L.P. | ARES MANAGEMENT LLC | Ares Corporate Opportunities Fund II, L.P. | ACOF Operating Manager II, L.P. Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 3 | Series A Convertible Preferred Stock, par value $0.001 Derivative · Direct | Holding | $6.00 exercise price | 2008-08-18 |